International Trade

Fatal Error

An indication that one or more data elements reported in the transaction contained invalid or conflicting data.  The export information is not accepted in the AES if a fatal error is generated.  Fatal Errors must be corrected immediately.  Making the required changes identified in the AES and resubmitting correctly should resolve a fatal error.

Compliance Alerts

An indication that the filing may violate U.S. export regulations has occurred, such as a late filing.

Verify Messages

An indication that one or more data values reported for the shipment fall outside of the parameters normally expected for the data elements.  If the shipment information is verified to be correct, there is no further action necessary. If a correction needs to be made, please correct and retransmit.

Warning Message

Incomplete ultimate consignee information may be declared for the shipment when the “To Be Sold en Route” declaration is made.  Complete ultimate consignee information must be updated for the shipment no later than 4 days after transmission.

Acceptance

The EEI has been accepted; you will receive an ITN.  Shipments receiving Compliance Alerts, Verify, Warning, or Informational messages will receive an ITN and maybe exported.  Shipments with fatal errors may not be exported until all errors are resolved and an ITN is received.

Shipments receiving Compliance Alerts, Verify, Warning, or Informational messages will receive an ITN and maybe exported. Shipments with fatal errors may not be exported until all errors are resolved and an ITN is received.

The Electronic Export Information (EEI) contained in the Automated Export System (AES) is confidential and is to be used solely for official purposes as authorized by the Secretary of Commerce.  The collection of EEI by the Department of Commerce has been approved by the Office of Management Budget. 

Only the U.S. Principal Party in Interest (USPPI) or the authorized agent of the USPPI may have access to its AES record.  It is prohibited to share the EEI Information with any other party for non-official purposes.

The Internal Transaction Number (ITN) is the Automated Export System (AES) generated number assigned to a shipment confirming that the Electronic Export Information was accepted in the AES.  An example of an ITN is X20130122000022.

The ITN is the AES proof of filing citation. The U.S. Principal Party in Interest or U.S. authorized agent must provide the proof of filing citation or exemption legend to the carrier.  The carrier must annotate the proof of filing citation on the carrier’s outbound manifest. 

Postdeparture filing is the privilege granted to approved United States Principal Party in Interests (USPPIs) for their EEI to be filed up to five (5) calendar days from the date of export.

The following citations are to be used for postdeparture filing:

AES Postdeparture Citation – USPPI filing

Format: AESPOST USPPI-EIN Date of Export
Example: AES ITN Example: AESPOST 123456789 01/01/2013

AES Postdeparture Citation – Agent filing

Format: AESPOST USPPI EIN – FILER ID Date of Export
Example: AESPOST 123456789 – 987654321 01/01/2013

The downtime citation can only be used when the AES mainframe or AESDirect is not available. If a company’s software or system is not available, then an alternative filing method must be used. Shipments licensed by the State Department can not be exported until an ITN is obtained.

AES Downtime Citation

Format: AESDOWN FILER ID Date of Export
Example: AESDOWN 123456789 01/01/2013

**American Samoa, Baker Island, Commonwealth of the Northern Mariana Islands, Guam, Howland Island, Jarvis Island, Johnston Atoll, Kingmen Reef, Midway Islands, Navassa Island, Palmyra Atoll, and the Wake Island.

An Export Information Code (EIC) is a code that identifies the type of export shipment or conditions of the exported items (i.e. goods donated for relief or charity, impelled shipments, shipments under the Foreign Military Sales program, household goods, all other shipments).

Refer to Appendix E in the Automated Export System Trade Interface Requirements and Appendix B, Part II of the FTR for the list of EICs.

Examples of EICs include but are not limited to:

HH = Household and personal effects
FS = Foreign Military Sales
CH= Shipments of goods donated for charity
OS = All other exports

• Items that require a Department of Commerce, Bureau of Industry and Security (BIS) license (15 CFR 730-774),
• Items that require a Department of State, DDTC export license under the International Traffic in Arms Regulations (ITAR) (22 CFR Parts 120 through 130),
• Items that are subject to the ITAR, but exempt from licensing requirements,
• Items that require a Department of Justice, Drug Enforcement Administration export permit (21 CFR, Part 1312),
• Items that require a general or specific export license issued by the U.S. Nuclear Regulatory Commission under 10 CFR 110,
• Items that require an export license issued by any other government agency,
• Items that are classified as rough diamonds under 6-digit Harmonized System subheadings 7102.10, 7102.21, and 7102.31, or
• Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S. Customs and Border Protection regulations.

The following types of shipments are outside of the scope of the FTR and are excluded from EEI filing:

• Goods shipped under CBP bond through the United States, Puerto Rico, or the U.S. Virgin Islands from one foreign country or area to another where such goods do not enter the consumption channels of the United States (§30.2(d)(1)).
• Except Puerto Rico and U.S. Virgin Islands, goods shipped from the U.S. territories, and goods shipped between the United States and these territories, do not require EEI filing.  However, goods transiting U.S. territories to foreign destinations require EEI filing (§30.2(d)(2)).
• Electronic transmissions and intangible transfers (See Subpart B of the FTR for export control requirements for these types of transactions.) (§30.2(d)(3)).
• Goods shipped to Guantanamo Bay Naval Base in Cuba from the United States, Puerto Rico, or the U.S. Virgin Islands and from Guantanamo Bay Naval Base to the United States, Puerto Rico, or the U.S. Virgin Islands (§30.2(d)(4)).
• Goods licensed by a U.S. federal government agency where the country of ultimate destination is the United States or goods destined to international waters where the person(s) or entity assuming control of the item(s) is a citizen or permanent resident alien of the United States or a judicial entity organized under laws of the United Sates or jurisdiction within the United States (§30.2(d)(5)).

All exemptions from EEI filing requirements are provided in Subpart D of the FTR.

Examples of Standard Exemption Legends:

In general, shipments to Canada are exempt from filing in the Automated Export System.

However, the EEI must be filed if the shipment is:

• Used self-propelled vehicles as defined in 19 CFR 192.1 of U.S. Customs and Border Protection regulations,
• Sent for storage in Canada, but ultimately destined for third countries,
• Moving from the U.S. through Canada to a third destination,
• Requires a Department of State, DDTC, export license,
• Requires a Department of Commerce, BIS, export license,
• Subject to the ITAR, but exempt from licensing requirements,
• Requires an export license issued by any other federal government agency, or
• Classified as rough diamonds under the 6-digit Harmonized System subheading (7102.10, 7102.21, 7102.31).

Exports of commodities where the value of the commodities, shipped from one U.S. Principal Party in Interest to one consignee on a single exporting conveyance, classified under an individual Schedule B number is valued at $2,500 or less, are exempt from filing in the Automated Export System. (This exemption applies to individual Schedule B Numbers regardless of the total shipment value.  Items of domestic or foreign origin under the same commodity classification number should always be reported separately and EEI filing is required when either is over $2,500.)

However, this exemption does not apply if filing is required per §30.2(a)(1)(iv).

Tools of trade are exempt from filing requirements if the item is:

• Owned by the individual U.S. Principal Party in Interest (USPPI) or exporting company,
• Accompanying the individual USPPI, employee, or representative of the exporting Company,
• Necessary, appropriate and intended for personal or business use,
• Not for sale,
• Returned to the U.S. within one year from the date of export, and
• Not shipped under a bill of lading or air waybill.

The following types of shipments destined for a country listed in Country Group E:1 are exempt from filing requirements unless a filing is required per §30.2(a)(1)(iv):

• Shipments of published books, software, maps, charts, pamphlets, or any other similar media available for general distribution,
• Shipments to U.S. government agencies entities under License Exception GOV,
• Personal effects under License Exception BAG (15 CFR §740.14),
• Individual gift parcels and humanitarian under License Exception GFT,
• Vessels and aircraft leaving the U.S. for a temporary sojourn under License Exception AVS, or
• Tools of the trade under License Exception BAG or License Exception TMP.

Shipments destined to Army Post Office, Diplomatic Post Office or Fleet Post Offices are exempt from EEI filing unless, a filing is required per §30.2(a)(1)(iv).

Q:        A contractor has a non-licensable shipment sent to an APO address in the United States. From the APO address, the military will ship the goods to the U.S. military overseas. Does the shipment require an EEI filing?

A:        No. An EEI filing is not required, because the shipment does not require an export license. However, if the goods are subject to section FTR 30.2(a)(1)(iv) then an EEI filing is required.

Q:        A U.S. company is shipping equipment that is ultimately destined to a country overseas and is licensed by the State Department to an APO address in the United States. Does the shipment require an EEI filing?

A:        Yes. Since, the shipment requires an export license and is being exported overseas it must be filed in the Automated Export System.

Exports of technical data and defense service exemptions as cited in 22 CFR 123.22(b)(3)(iii) of the ITAR are exempt from EEI filing unless, a filing is required per §30.2(a)(1)(iv).

A Split Shipment is a shipment booked for export that is divided by the carrier into two or more shipments by the same mode of transportation from the same port within 24 hours.  For the succeeding parts of the shipment that are not exported within 24 hours, a new EEI must be filed and amendments must be made to the original EEI filing. Please refer to the procedures for split shipments in §30.28.

Temporary shipments of goods valued over $2,500 per Schedule B or that require a license must be filed in the Automated Export System.  Below are the appropriate Export Information Codes (EIC) to be reported for temporary goods:

IP = Shipments of merchandise imported under a Temporary Import Bond for further manufacturing or processing

IR = Shipments of merchandise imported under a Temporary Import Bond for repair

IS = Shipments of merchandise imported under a Temporary Import Bond for return in the same condition

TP = Temporary exports of domestic merchandise

TE = Temporary exports to be returned to the United States

CR = Goods moving under a carnet

Below are some examples of different scenarios for embassy shipments.

Q:        A U.S. company sells goods to the Australian Embassy located in the United States.  Is an AES record required?
A:        No.  It is considered a domestic sale.

Q:        A U.S. company is sending  office supplies to a U.S. Embassy located overseas, is an EEI filing required?
A:        No.  Section 30.40 of the FTR exempts certain shipments to the U.S. government agencies and employees. However, if the shipment requires a license or does not meet the criteria of section 30.40, an EEI must be filed.

Q:        A U.S. company sells goods to a foreign embassy in Germany. Is an EEI filing required?
A:        Yes.  An EEI filing is required, if the shipment is valued over $2,500 per Schedule B number or if a license is required.

When exporting a used self-propelled vehicle as defined in 19 CFR 192.1 of U.S. Customs Border Protection regulations, report the Vehicle Identification Number (VIN) in the AES.  The USPPI or authorized agent shall file the EEI as required by §30.6 and provide the filing citation to the exporting carrier at least 72 hours prior to the export.  In addition, the title must be presented to the Customs and Border Protection (CBP) 72 hours prior to export of the used vehicle.

Please contact CBP at the port of export for the proper procedures.
Additional information may be found at the CBP website for Port of Export

International Waters are waters located outside the U.S. territorial sea, which extends 12 nautical miles measured from the baselines of the United States, and outside the territory of any foreign country, including the territorial waters thereof.  Note that vessels, platforms, buoys, undersea systems, and other similar structures that are located in international waters, but are attached permanently or temporarily to a continental shelf, are considered to be within the territory of that country.

Exports to international waters regardless of value that require an export license and all other exports when the commodity is valued over $2,500 per Schedule B number require an EEI filing. Note when reporting such shipments into the AES the Export Information Code to be used is “IW.”

When reporting vessel shipments the EEI should include one of the six “high seas” foreign ports listed in the Schedule K, Classification of Foreign Ports. See the following Schedule K codes below:

Note: For shipments between the United States and Puerto Rico, the AES proof of filing citation, postdeparture filing citation, or exemption citation must be presented to the carrier by the time the shipment arrives at the port of unloading.

Note: For shipments between the United States and Puerto Rico, the AES proof of filing citation, postdeparture filing citation, or exemption citation must be presented to the carrier by the time the shipment arrives at the port of unloading.

The U.S. Principal Party in Interest (USPPI) is the person or legal entity in the United States that receives the primary benefit, monetary or otherwise, from the export transaction.  Generally, the USPPI is the U.S. seller, manufacturer, order party, or foreign entity (if in the United States at the time the goods are purchased or obtained). However, if a customs broker or foreign person is listed as the importer of record when entering goods into the United States for immediate consumption or warehousing entry, the customs broker may be listed as the USPPI if the goods are subsequently exported without change or enhancement.

The Foreign Principal Party in Interest (FPPI) is the party abroad who purchases the goods for export or to whom final delivery or end-use of the goods will be made.  This party may be the Ultimate Consignee.

In a routed export transaction the FPPI is responsible for facilitating the movement of the cargo and authorizing a U.S. Agent or the U.S. Principal Party in Interest to file the export information in the Automated Export System (§30.3(e)).

The ultimate consignee is the person, party, or designee that is located abroad and actually receives the export shipment. This party may be the end user or the Foreign Principal Party in Interest.

Q: Who is the ultimate consignee in the following scenario?  A Mexican party orders tires valued at $6,000 from Company A located in United States.  The Mexican party sells those tires to an Australian company.  The Mexican company instructs Company A to ship the goods directly to the Australian company.

A: The Australian company.

An individual or legal entity physically located in or otherwise under the jurisdiction of the United States that has obtained power of attorney or written authorization from a USPPI or FPPI to act on its behalf to complete and file the EEI.

Question:  Which party shall be listed in the EEI in the following example?

A U.S. company sells goods to a company located in France. This U.S. company hires an authorized agent to file the AES record for the shipment and a freight forwarder to move the cargo out of the country.

Answer: The U.S. authorized agent who filed the AES record.

U.S. Principal Party in Interest (USPPI) Responsibilities:

• Prepare and file EEI itself, or
• Authorize an agent to prepare and file the EEI on its behalf,
• Provide the authorized agent with accurate and timely export information,
• Provide a power of attorney or written authorization to the authorized agent,
• Make a License Determination, and
• Retain documentation for five years.

Authorized U.S. Agent Responsibilities:

• Obtain a power of attorney or written authorization from the USPPI,
• Provide transportation data,
• Accurately prepare and file the EEI,
• Provide the USPPI with export information that it provided as submitted through the AES, if requested, and
• Retain documentation for five years.

A routed export transaction is a transaction in which the FPPI authorizes a U.S. agent to facilitate the export of items from the United States and to prepare and file EEI.  While the FPPI will select the U.S. agent, it may give authorization to the USPPPI to file the EEI.  In a routed export transaction, the parties reported in the AES always remain the same; however, the responsibilities of the parties differ.

Required Data Elements to be Provided in a Routed Export Transaction

Below are the data elements that the U.S. Principal Party in Interest (USPPI) is required to provide to the U.S. authorized agent of the FPPI.

1. Name and address of the USPPI,
2. USPPI’s EIN,
3. State of Origin,
4. FTZ identifier if applicable,
5. Commercial description of commodities,
6. Origin of goods indicator: Domestic (D)/Foreign (F),
7. Schedule B or HTSUSA Classification Commodity Code,
8. Quantity/Unit of Measure,
9. Value,
10. ECCN or sufficient technical information to determine ECCN, and
11. If applicable, all licensing information to file the EEI.

U.S. Principal Party in Interest (USPPI) Responsibilities:

• File on behalf of the Foreign Principal Party in Interest (FPPI), if the FPPI provided a power of attorney or written authorization,
• Otherwise, provide authorized U.S. agent of the FPPI with specific export and licensing information,
• Upon request, the USPPI can receive a copy of the required export information that was submitted to the authorized U.S. agent to file,
• Make a license determination or obtain a writing from the FPPI (See EAR 758.3), and
• Retain documentation for five years.

Authorized Agent Responsibilities:

• Obtain a power of attorney (POA) or written authorization from the FPPI,
• Upon request, provide the USPPI with a copy of the POA or written authorization provided by the FPPI,
• Prepare and file the EEI record, and
• Upon request, provide the USPPI with a copy of the data elements provided by the USPPI.

• Must not load or move cargo unless the required documentation, from the USPPI or authorized agent, contains the required AES proof of filing, postdeparture, downtime citation, or exemption citations,
• Annotate the required AES proof of filing, postdeparture, downtime citation, or exemption citations on the carrier’s outbound manifest when required,
• Present the required AES proof of filing, postdeparture, downtime citation, or exemption citations to the U.S. Customs and Border Protection (CBP) Director at the port of export,
• Notify the USPPI or the authorized agent of changes to the transportation data,
• Amend manifest, as needed, in accordance with CBP regulations, and
• Retain documentation for five years.

The Value is the selling price in U.S. dollars (or the cost if the goods are not sold), plus inland or domestic freight, insurance, and other charges to the U.S. seaport, airport, or land border port of export. Cost of goods is the sum of expenses incurred in the USPPI’s acquisition or production of the goods (§30.6 (a)(17)).

The License Value is the value designated on the export license that corresponds to the commodity being exported.  This is required for all shipments that contain licensed goods (§30.6(b)(15)).

The Statistical Classification of Domestic and Foreign Commodities Exported from the United States. These 10-digit commodity classification numbers are administered by the Census Bureau and cover everything from live animals and food products to computers and airplanes. It should also be noted that all import and export codes used by the United States are based on the Harmonized Tariff System.

The Census Bureau’s FTR requires that items of domestic and foreign origin under the same commodity classification number should always be reported separately (§30.37(a)).

Repairs are only to be reported for goods previously imported for repair or alteration.

Non-UMSL Shipments

the return of non-USML goods temporarily imported for repair and alteration and declared as such on importation shall have Schedule B number 9801.10.0000.  The value reported shall only include parts and labor. The value of the original product shall not be included.  If the value of the parts and labor is over $2,500 per Schedule B number, then EEI must be filed.

USML Shipments

the return of USML goods temporarily imported for repair and alteration and declared as such on importation shall have Schedule B number 9801.10.0000. In the value field, report the value of the parts and labor, in the license value field, report the value designated on the export license that corresponds to the commodity being exported.  An EEI must be filed regardless of value.

For goods that are reexported after repair under a warranty, it is recommended that the bill of lading, air waybill, or other loading documents include the statement, “This product was repaired under warranty.”

Non-UMSL Shipments

when reporting a replacement, report the value of the replacement parts in accordance with §30.6(a)(17).

USML Shipments

when reporting a replacement, report the value in the license (§30.6(a)(17) and §30.6(b)(15)).

Goods that are replaced under warranty at no charge to the customer shall include the statement, “Product replaced under warranty, value for EEI purposes” below the proof of filing citation or exemption legend on the commercial document.